DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• M••••••••• A••••••• I••
Latest filing Dec 12, 2025
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Nov 5, 1991
RAUM
$52.0M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
81%
$42.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$52.0M as of Dec 12, 2025
Jun 26, 2012$96.5M then
HNW client RAUM$9.9M as of Dec 12, 2025
Jun 25, 2018$31.9M then
State-registered IARs (5.B.3)1 as of Dec 12, 2025
Jun 28, 20131 then
Employees (5.A)4 as of Dec 12, 2025
Jun 28, 20138 then
Private funds: no history
RAUM -57% over the last fiscal year-23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 12, 2025; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $262,649derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -58%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$32.2M62%
- High-net-worth individuals$9.9M19%
- Charitable organizations$4.4M8.4%
- Pension and profit-sharing plans$2.9M5.5%
- Corporations and businesses$2.7M5.3%
- Individual clients
- 115reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 198reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M•••• Z•••••• to R•••••• J•••• • A••••••••• I•••Aug 13, 2019 · RIA to affiliated broker-dealer or bank
- T••••• J•••• G•••••• to G•••••• G•••• I••Oct 31, 2013 · Other
Joined, latest
- T••••• J•••• G•••••• from A••••••••• F•••••••• S•••••••• L••Jul 30, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• T••••• J•• · Chief Investment Officercontrolsince 05/1991 · owns less than 5%
- P•••••• T••••• J•• · Chairmancontrolsince 05/1991 · owns 75% or more of C••••••••• C•••••• M••••••••• I•••
- P•••••• N••••••••• C••••• · Chief Compliance Officersince 04/2009 · owns less than 5%
Entity owners
- C••••••••• C•••••• M••••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 30, 2024 to Dec 12, 2025
- Accounts · 269 to 198Jun 29, 2023 to Jul 30, 2024
- Individual clients · 138 to 115Jun 29, 2023 to Jul 30, 2024
- Financial planning clients · 11-25 to 1-10Jun 29, 2023 to Jul 30, 2024
- Discretionary RAUM · $41.3M to $48.5MJun 29, 2023 to Jul 30, 2024
- HNW RAUM · $9.4M to $9.9MJun 29, 2023 to Jul 30, 2024
- Individual RAUM · $30.8M to $32.2MJun 29, 2023 to Jul 30, 2024
- Non-discretionary RAUM · $9.5M to $3.5MJun 29, 2023 to Jul 30, 2024
- Pension RAUM · $2.4M to $2.9MJun 29, 2023 to Jul 30, 2024
- RAUM · $50.8M to $52.0MJun 29, 2023 to Jul 30, 2024
- Accounts · 337 to 269Jun 28, 2022 to Jun 29, 2023
- Advisory employees · 4 to 3Jun 28, 2022 to Jun 29, 2023
- HNW clients · 10.0 to unsetJun 28, 2022 to Jun 29, 2023
- Individual clients · 179 to 138Jun 28, 2022 to Jun 29, 2023
- Pension plan clients · 17.0 to unsetJun 28, 2022 to Jun 29, 2023
- Employees · 5 to 4Jun 28, 2022 to Jun 29, 2023
- Discretionary RAUM · $98.1M to $41.3MJun 28, 2022 to Jun 29, 2023
- HNW RAUM · $43.8M to $9.4MJun 28, 2022 to Jun 29, 2023
- Individual RAUM · $46.9M to $30.8MJun 28, 2022 to Jun 29, 2023
- Non-discretionary RAUM · $23.7M to $9.5MJun 28, 2022 to Jun 29, 2023
- Pension RAUM · $19.1M to $2.4MJun 28, 2022 to Jun 29, 2023
- RAUM · $122M to $50.8MJun 28, 2022 to Jun 29, 2023
- Accounts · 347 to 337Jun 25, 2021 to Jun 28, 2022
- HNW clients · 9 to 10Jun 25, 2021 to Jun 28, 2022
- Individual clients · 183 to 179Jun 25, 2021 to Jun 28, 2022
- Pension plan clients · 18 to 17Jun 25, 2021 to Jun 28, 2022
- Discretionary RAUM · $103M to $98.1MJun 25, 2021 to Jun 28, 2022
- HNW RAUM · $41.8M to $43.8MJun 25, 2021 to Jun 28, 2022
- Individual RAUM · $54.4M to $46.9MJun 25, 2021 to Jun 28, 2022
- Non-discretionary RAUM · $19.3M to $23.7MJun 25, 2021 to Jun 28, 2022
- Pension RAUM · $18.4M to $19.1MJun 25, 2021 to Jun 28, 2022
- RAUM · $122M to $122MJun 25, 2021 to Jun 28, 2022
- Accounts · 328 to 347Jun 29, 2020 to Jun 25, 2021
- HNW clients · 8 to 9Jun 29, 2020 to Jun 25, 2021
- Individual clients · 179 to 183Jun 29, 2020 to Jun 25, 2021
- Employees · 6 to 5Jun 29, 2020 to Jun 25, 2021
- Discretionary RAUM · $95.3M to $103MJun 29, 2020 to Jun 25, 2021
- HNW RAUM · $36.0M to $41.8MJun 29, 2020 to Jun 25, 2021
- Individual RAUM · $51.6M to $54.4MJun 29, 2020 to Jun 25, 2021
- Non-discretionary RAUM · $16.5M to $19.3MJun 29, 2020 to Jun 25, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 770-422-4606reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.c•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 770-422-4606reportedpublic record, Form ADV, Dec 12, 2025
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026